RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
T••••• E••••• F•••••
- W•••••• A•••••••• L•• independent RIA currentsince Oct 22, 2024 · Birmingham, Al
- 9••• W••••• M••••••••• L•• formerJan 4, 2021 to Dec 2, 2024 · Blue Ash, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedSep 27, 2018 to Oct 6, 2020 · Columbus, Oh
- P•• W••••• M••••••••• BD affiliatedFeb 26, 2018 to Oct 5, 2018 · Beavercreek, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 1, 2018 · Cincinnati, Oh
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Beavercreek, Oh
- M••••• S•••••• D• I••• unclassifiedJan 18, 2005 to Apr 2, 2007 · Centerville, Oh
- 9••• W••••• M••••••••• L•• to W•••••• A•••••••• L••left Dec 2, 2024, registered Oct 22, 2024 (-41 days) · RIA to RIA · moved with a team
- H••••••••• F•••••••• A••••••• to 9••• W••••• M••••••••• L••left Oct 6, 2020, registered Jan 4, 2021 (90 days) · Affiliated broker-dealer or bank to independent RIA
- P•• W••••• M••••••••• to H••••••••• F•••••••• A•••••••left Oct 5, 2018, registered Sep 27, 2018 (-8 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to P•• W••••• M•••••••••left Feb 1, 2018, registered Feb 26, 2018 (25 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- T••••• E••••• F••••• left 9••• W••••• M••••••••• L•• for W•••••• A•••••••• L•• (registered 2024-10-22)Dec 2, 2024 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address